Investors potentially incurred losses because of securities broker Leslie D. Sprockett [CRD: 2886716, Elgin, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Sprockett worked for WRP Investments Inc. from June 11, 1997, to September 12, 2014, and has worked for StoneX Securities Inc. since September 12, 2014. Investors are encouraged to continue reading to find out more about disclosures involving Leslie Sprockett.
Specifically, a StoneX Securities Inc. client filed FINRA Arbitration No. 24-01797 about Leslie Sprockett. Mainly, the client alleged that Sprockett was negligent or made unsuitable recommendations involving non-traded real estate investment trusts (non-traded REITs). Because of this, the client allegedly experienced damages on those real estate securities. Consequently, on November 25, 2025, StoneX Securities Inc. settled this matter by paying the client $45,000.
Negligence involving non-traded real estate investment trusts can occur when a securities broker or financial advisor fails to use reasonable care when recommending these investments. Non-traded REITs are often illiquid and may carry significant risks, including limited access to investor funds and valuation concerns. Brokers may face allegations of negligence if they recommend these investments without fully considering a client’s investment objectives, risk tolerance, or financial situation.
Are you concerned about investments you made through Leslie Sprockett? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers work on a contingency fee basis and advance all costs. Sprockett and brokerage firms Sprockett worked for deny allegations of sales practice violations.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
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